securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
institutional investor or high net worth individual, investment units to be offered for sale must be disclosed on the SEC website and be traded at the same time and on the same day as its home country, except in
Center PLC (TUCC) during October 1 - 31, 2007, and S.E.C Auto Sales and Services PLC (SECC) during September 12 - November 24, 2008 by allowing the use of his trading account and facilitating price
1. Supporting normal business transaction without general trading conditions Expense item - Utility charges - Advertising & public relations expenses Baht 55 million 2. Transaction regarding rental or
(UNOFFICIAL TRANSLATION) Factsheet Form: Structured Notes and Explanation Factsheet Information as of [day/month/year] 1 * II means institutional investors. HNW means high net worth investors. 1
. KorThor. 67/2547 Re: Call for and Deposit of Margins for Derivatives Trading in Derivatives Exchange dated 22 December 2004 and Clause 3(4) of the Notification of the Securities and Exchange Commission No
of the Securities and Exchange Commission No. KorThor. 67/2547 Re: Call for and Deposit of Margins for Derivatives Trading in Derivatives Exchange dated 22 December 2004 and Clause 3(4) of the